Thomas W. Alison
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas W Alison, CIMA®, who also goes by Thomas Walsh Alison, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31, PC, Series 000, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2006 - November 13, 2021
J.P. MORGAN SECURITIES LLC
May 12, 2006 - November 13, 2021
J.P. MORGAN SECURITIES LLC
July 1, 2003 - May 12, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - May 12, 2006
WELLS FARGO CLEARING SERVICES, LLC
October 27, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 27, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 2, 1997 - October 22, 1997
PRUDENTIAL EQUITY GROUP, LLC
April 12, 1983 - May 21, 1997
UBS FINANCIAL SERVICES INC.
February 1, 1979 - April 19, 1983
LEHMAN BROTHERS INC.
January 18, 1978 - September 17, 1979
LOEB PARTNERS
January 26, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
July 15, 1976 - January 28, 1977
DREXEL BURNHAM LAMBERT INCORPORATED
November 5, 1974 - August 8, 1976
SHEARSON HAYDEN STONE INC.
February 1, 1971 - November 8, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
September 1, 1970 - April 5, 1971
GOODBODY & CO. INCORPORATED
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 000
Date: 8/19/1970
General Securities Principal ExaminationSeries 1
Date: 10/5/1968
Registered Representative ExaminationCurrent Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
